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Violation Tracker Agency Summary Page

Agency Name: Financial Industry Regulatory Authority
Penalty Total since 2000: $1,461,018,409
Number of Records: 744
Top 10 Current Parent CompaniesTotal Penalty $Number of Records
Bank of America$181,639,25741
UBS$101,180,25030
Morgan Stanley$99,073,00739
Citigroup$80,585,59528
Robinhood Markets$70,850,0002
Wells Fargo$63,743,47430
Deutsche Bank$54,832,00015
Raymond James Financial$46,353,00011
Charles Schwab Corp.$36,176,86913
MetLife$33,424,7488

Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the current parent name to reach the summary page for that parent company.

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Company sort iconCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearPenalty Amount
Wachovia Capital Markets, LLCWells Fargofinancial servicesinvestor protection violation2007$300,000
Wachovia SecuritiesWells Fargofinancial servicesinvestor protection violation2009$4,500,000
Wachovia Securities LLCWells Fargofinancial servicesinvestor protection violation2007$2,000,000
Wachovia Securities LLCWells Fargofinancial servicesinvestor protection violation2004$650,000
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2009$1,400,000
Wachovia Securities, LLC and First Clearing, LLCWells Fargofinancial servicesinvestor protection violation2009$1,100,000
Wachovia Securities, LLC.Wells Fargofinancial servicesinvestor protection violation2004$39,486
Waddell & Reed, Inc.Macquariefinancial servicesinvestor protection violation2005(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $16,000,000
WaMu Investments, Inc. investor protection violation2008$250,000
Webull Financial LLC investor protection violation2023$3,000,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2018$1,500,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2016$675,000
Wefunder Portal LLC investor protection violation2022$1,400,000
Wells Fargo Advisors and Wells Fargo Advisors Financial NetworkWells Fargofinancial servicesanti-money-laundering deficiencies2014$1,500,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2013$3,250,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2012$1,931,488
Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2011$1,000,000
Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2015$15,000,000
Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC and First Clearing, LLCWells Fargofinancial servicesinvestor protection violation2016$1,500,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2020$2,075,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2017$3,400,000
Wells Fargo InvestmentsWells Fargofinancial servicesinvestor protection violation2005$3,000,000
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2011$2,000,000
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2009$275,000
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2005$2,970,000
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2004$150,000
Wells Fargo Securities, LLCWells Fargofinancial servicesinvestor protection violation2014$4,000,000
Wells Fargo Securities, LLCWells Fargofinancial servicesinvestor protection violation2007$250,000
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLCWells Fargofinancial servicesinvestor protection violation2016$4,000,000
Wells Investment Securities, Inc. investor protection violation2011$300,000
Wells Investment Securities, Inc. investor protection violation2003$150,000
Westpark Capital, Inc. investor protection violation2010$400,000
Wheat First Securities Inc. investor protection violation2000$7,730,000
Windsor Capital Advisors, Inc. investor protection violation2001$20,000
WM Financial Services, Inc. investor protection violation2004$350,000
WMA Securities, Inc. investor protection violation2000$125,000
Worden Capital Management LLC investor protection violation2020$1,550,000
Workman Securities Corp. investor protection violation2011$700,000
World Group Securities, Inc.Aegonfinancial servicesinvestor protection violation2004$150,000
World Trade Financial Corporation anti-money-laundering deficiencies2013$250,000
Worldco LLC investor protection violation2004$1,500,000
Worldco, LLC investor protection violation2002$175,000
Yankee Financial Group, Inc. investor protection violation2005$3,800,000
Zions Direct, Inc.Zions Bancorporationfinancial servicesinvestor protection violation2010$225,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.